Consulting

Ongoing Compliance Assistance/Consulting

Your True Partner in Ongoing Compliance Assistance

NCS Regulatory Compliance offers more than 20 years of expertise from two of the nation’s most trusted registration and compliance consulting firms, National Compliance Services and Regulatory Compliance. With the knowledge and track record of addressing the most complex regulatory requirements, and the practical experience to manage your daily and monthly compliance assistance activities, NCS Regulatory Compliance is your true partner for audit protection and much more.

Benefits as a Compliance Assistance Partner

Your compliance fitness is paramount to the success and longevity of your firm. NCS Regulatory Compliance understands the intricacies of the regulations that affect your daily operations, and will offer peace of mind for all aspects of your operations. Partnering with NCS Regulatory Compliance allows you to:

– Avoid the costs and time to build, and maintain, an in-house compliance department

– Prepare for real audits with mock audits, so there are no surprises

– Maintain seamless compliance in all your operations, so you can focus on your core competencies

Compliance Assistance Service Levels

Through careful reflection on the needs of our clients, we have established various service levels that build upon each other to offer you the right-fit compliance solution. Within each service level, there is room for basic, advanced, and even fully outsourced levels of customization. Whatever your need, NCS Regulatory Compliance provides a service model that’s right for you.

RIA: PartnerEssentials

PartnerEssentials is our basic program, providing preparation and filing of annual forms, compliance calendars, research, webinars, email alerts, newsletters, and blogs

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RIA: PartnerPro

As a Pro-level client, NCS Regulatory Compliance provides the basic suite of compliance assistance, including risk assessment, training, and expert review of sensitive materials.

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RIA: PartnerPlus

Plus-level service includes all the features of the Pro-level, with the added benefit of ongoing strategy and planning, a customized compliance calendar and monthly testing, and advertising and marketing review.

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RIA: PartnerElite

PartnerElite is the solution for RIAs under advanced compliance scrutiny. If your firm requires specific policies and procedures that are built and implemented by our experienced team, become an Elite partner.

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Broker-Dealers: PartnerPro

PartnerPro provides the essential compliance tools and resources, including a “go-to” contact who can address your specific questions, information on new regulations, and monthly tools to assist with compliance testing.

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Broker-Dealers: PartnerPlus

PartnerPlus includes all of the services available in PartnerPro as well as a structured, comprehensive compliance program designed to proactively address all of your compliance needs.

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Broker-Dealers: PartnerElite

PartnerElite is a highly customized compliance program tailored to the compliance and operational aspects of your firm, designed to fit the specific needs of your business.

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